mutual fund sales charge abuse Archives

Robert Rex, Esq.
January 12, 2016

Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse

Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 12, 2016 January 12, 2016

October 27, 2015 Stephens, Inc. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that since June 1, 2009, Stephens disadvantaged certain…

Robert Rex, Esq.
September 21, 2015

FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments

FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 21, 2015 September 21, 2015

September 21 2015- Washington DC First Eagle Investment Management and FEF Distributors was charged by the US Securities and Exchange Commission with improperly using mutual fund assets to pay for…